Your search returned 5 results.

Insight
|
August 20, 2021

Inclusion, Equity, & Diversity Update – SEC Approves Nasdaq Rule on Board Diversity

As companies focus on workforce inclusion, equity, and diversity (IE&D), they are under increasing pressure to assure that the membership of their boards reflects these values

Insight
|
July 28, 2021

Internal Disclosures from Compliance Audits –What Could Go Wrong?

Compliance or internal audit departments frequently carry out audits intended to assure that business partners in an organization have policies and procedures that are effective for maintaining corporate compliance and consistent with myriad laws.

Insight
|
March 25, 2021

Form U5 Defamation Claims on the Rise at FINRA: Be Prepared!

Form U5 defamation cases are on the rise, with a reported 24% increase over the filing period from 2019 to 2020. Firms should take certain proactive steps to fully understand their duties, reduce risk, and avoid costly litigation.

Insight
|
August 6, 2020

The FDIC Again Loosens Restrictions on Hiring Bank Personnel with Criminal Histories

On July 24, 2020, the FDIC published a Final Rule regarding Section 19 of the Federal Deposit Insurance Act, 12 U.S.C. § 1829 (“Section 19”), which restricts hiring at FDIC-insured depository institutions, such as FDIC member banks.

Insight
|
January 21, 2016

FINRA Members Subject to New Background Screening Rules

FINRA member institutions should become familiar with new background screening rules.